to statutory auditors and audit firms and the right to take appropriate action. 6. The system of public oversight shall be transparent. This shall include the publication of annual work programmes and
2008 to address concerns about the role of CRAs in the wake of the financial crisis, and again in 2015 to take into account the CRA registration and oversight programs implemented by IOSCO members. A-4
account the CRA registration and oversight programs implemented by IOSCO members. A-4 Like the IOSCO CRA Principles, the IOSCO CRA Code is also intended to be useful to all types of CRAs relying on a
.: _________________________ Page 6 of 9 Form 35 – ARFP CIS Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of
to impose sanctions or to order the CIS operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
Company may also disclose the operating results, the outcomes including the action plan (if any) related to other environmental management as the Company deems to be in accordance with the environmental
and is subject to anti-money laundering and terrorist financing regulatory and oversight regime that is comparable to international standards accepted by the Office, e.g. Financial Action Task Force
, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification
conduct. 2 The company should specify anti-corruption measures suitable to the risk profile of the company. 2. The board of directors demonstrates independence from the management and exercises oversight of
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or